201501 gests423 s3

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GESTS423
Intellectual Property Management &
Technology Transfer
Part II: Role of higher education institutes in
innovation processes
Azèle Mathieu, PhD
February - June 2015

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You will work on a patent applied by a UNIVERSITY
WHY UNIVERSITIES APPLY FOR PATENTS?
© Azèle Mathieu

The missions of higher education institutions
GESTS423 – Technology Transfer – © Azèle Mathieu
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Mission 1: teaching
KNOWLEDGE TRANSMISSION
Mission 3: contribution to society
KNOWLEDGE CAPITALISATION
Mission 2: research
KNOWLEDGE CREATION

Increased importance of the 3rd mission
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 Decrease of structural funds for HEIs
 From a “closed” to an “open innovation” model
 Emergence of some high-tech based fields
 Knowledge-based society
 Bayh-Dole act in the US in 1983
 Regional decrees in Belgium at the end of the 90’s

Higher education
Industry
Long-term economic growth
Innovative capacity of countries
Mission 1: Teaching
Mission 2: Research
Mission 3: Contribution to
society - economic development
?
?
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Importance of accrued interactions between different
types of players: Triple Helix Model
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Source: Etzkowitz and Leydesdorff (2011)

Triple Helix Model of an innovation ecosystem -
benefits for the industry
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Source: Arthur D. Little, Prism 02/2012
 New ideas: from adjacent industries, from experts in a
particular area, from a fresh approach
 New people: often businesses transfer in transfer in
academic staff for a period of secondment, or hire PhD
students who complete industrial placements
 Non-core science: access technology outside the bounds of
existing R&D activities, at a low cost
 First look: maintain a watching brief over new, emerging
and potentially disruptive technologies

benefits for higher education institutions
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 Get paid: financial rewards for academic researchers and
the institutions they work in
 Career progression: prestige associated with working
with industry and new transferable skills
 Stimulus of exposure to real-world problems:
application of basic and applied expertise to practical
challenges

benefits for the government
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 Sustainable jobs: industry and academia working
together creates new jobs
 Economic growth: new jobs means a knock-on effect for
the national economy, as people spend money

Different mechanisms to transfer knowledge from
HEI to business sector
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Knowledge Transfer Mechanisms
(KTMs)
“New” KTMs
Patents
Spin-offs
Contract-based consultancy
Contract-based research
Collaborative research
Traditional KTMs
Informal interactions
Conferences
Employment of graduates
Publications

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Informal interaction Formation of social relationships and networks.
Participation in conferences Active participation in conferences by presentation of research results.
Mobility of people It embodies the employment of graduates (B.Sc., M.Sc. or Ph.D. Level) in
the business sector, the employment of university staff/researchers in the
business sector, the trainees, the double appointments and the temporary
movement of university members to the business sector.
Cooperation in education It either covers the training of business employees by academics, either the
situation where the firm members influence curriculum of university
programs or give lectures at universities.
Cooperation in R&D Inter-organizational arrangements for pursuing collaborative R&D. It also
includes the joint supervision of PhDs and Master Theses by universities and
firm members and/or the financing of Ph.D. research by the business sector.
R&D services Activities commissioned by industrial clients. It includes contracted R&D
and consultancy.
Publications Use of codified knowledge within industry. It includes joint-publications
with the business sector and scientific publications of the academic
researcher.
Sharing of facilities It covers the sharing of facilities between academics and firm members or
the financing of new facilities with industry funding.
IP rights and licensing Transfer of university-generated IP (such as scientific research results,
patents, software, trademarks, databases) to firms, e.g. via licensing.
Academic spin-off companies Development and commercial exploitation of technologies pursued by
academic inventors through a company.
Data sources: Azèle Mathieu®, PhD Thesis (2011), adapted from Perkmann and Walsh (2007) and Bekkers and Freitas (2008)

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Traditional, open sciences
KTMs still privileged
New, formalised KTMs,
not the most important
Patent, spin-off not the
most important for
academics;
Business-funded
contracts, important for
academics
Data sources: Azèle Mathieu®, PhD Thesis (2011), own summary of surveys performed by Meyer-Krahmer and Schmoch (1998), Thursby
and Thursby (2001), Schartinger et al. (2001), Agrawal and Henderson (2002), Cohen et al. (2002), Arundel and Geuna (2004), Landry et
al.(2005), Brennenraedts et al. (2006), D’Este and Patel (2007), Bekkers and Freitas (2008).
Importance of KTM as perceived by their users

Income from
partnerships
activities across
UK universities
(2010-2011)
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For HE: IP revenues remain small compared to other
types of revenues from other KTMs
Source: Arthur D. Little, Prism 02/2012 and HEFCE Higher Education – Business & Community Interaction
Survey, July 2012

How do universities manage the 3rd mission? (1/2)
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 New infrastructures:
● Technology Transfer Offices (TTO)
Making part of the university or independent
Legal – scientific – business advisors
Interacting with patent attorneys
● Patent fund
● Business incubators
● Dedicated investment fund
© Azèle Mathieu

How do universities manage the 3rd mission? (2/2)
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 New rules:
● Ownerships of
inventions
● Distribution of
revenues
● Limitation of
conflicts of interest
 All these changes do not
go without some
tensions...
● Academic freedom
● Cultural differences
● ...

ULB-Technology Transfer Office
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 Launched in 1991
 Integrated in the university
 ~ 15 employees
 Missions:
● Fundraising for research
● Management of interactions with the industry
● Management of the ULB’s Intellectual Property and its
marketability
● Support to spin-off launching

Evolution of patents and spin-offs at ULB
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0
15
30
45
60
75
90
105
120
135
150
165
180
195
0
2
4
6
8
10
12
14
16
18
20
22
24
26
28
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1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010
# patents# spin-offs
Cumulative evolution # launched spin-offs Cumulative evolution # applied patents
Region's
decree
Inventions
belong to the
ULB
Spin-off Fund
Theodorus
Patent
Fund
ULB TTO
EEBIC
Solvay
Entrepreneurs
(1986)
Valorisation
Committee

Inventions from ULB: very specific fields,
strength in biomed
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© Azèle Mathieu
Medical bioinformatics
Low Risk (50%) High Risk (50%)
Endoscopy
Orthopaedic
Anaesthesia
monitor
Neurophysiology Prosthesis
Optics –
Holographic
Microscope

Intellectual Property regime @ ULB
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 All inventions belong to ULB
 Selectivity for quality patent applications:
● Contribution of the lab (2.500€)
● PCT applications to evaluate market perspectives
 Patenting costs
 3 thirds rule
 No equity parts in exchange of licenses
 Investment in spin-offs managed by Theodorus fund

RESEARCH
INTELLECTUAL
PROPERTY
Knowledge transfer @ ULB

Knowledge transfer @ ULB and your role
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 In order to valorise a new invention towards the society
there is a need for scientific, legal & business competences.
You will work and be considered as a business developer
Interacting with the scientific, legal and business advisors of
ULB-TTO
In charge of developing a “Valorisation plan”
© Azèle Mathieu

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References (1/3)
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 (2013). Big Bang Disruptions, Harvard Business Review
 Chasm Institute.
http://www.chasminstitute.com/METHODOLOGY/TechnologyAdoptionLifeCycle/tabid/8
9/Default.aspx
 Chesbrough, H.W. (2003). Open Innovation: The New Imperative for Creating and
Profiting from Technology. Harvard Business School Press.
 Chesbrough, H.W. (2006). Open innovation: a new paradigm for understanding industrial
innovation. In Chesbrough, H.W., Vanhaverbeke, W. and J. West (eds), Open
Innovation:Researching a New Paradigm. Oxford University Press.
 Christensen, C. (03/11/2012). A Capitalist’s Dilemma, Whoever Wins on Tuesday. The
New York Times.
 Cohen, W.M. and D.A. Levinthal (1990). Absorptive Capacity: A New Perspective on
Learning and Innovation. Administrative Science Quarterly, 35(1), pp.128-152.
 Europe Enterpise Network, http://een.ec.europa.eu/

References (2/3)
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 Etzkowitz, H. and L. Leydesdorff (2000). The dynamics of innovation: from National
Systems and “Mode 2” to a Triple Helix of university–industry–government relations,
Research Policy, 29 (2), pp. 109-123.
 European Communities – Gate 2 Growth (2002). A Guide to Financing Innovation.
 Geuna, A. (2001). The Changing Rationale for European University Research Funding:
Are There Negative Unintended Consequences? Journal of Economic Issues, 35 (3), 607-
632.
 McKinsey Global Institute (2013). Disruptive technologies: advances that will transform
life, business and the global economy.
 Mowery D.C., Nelson R.R., Sampat B.N. and A.A. Ziedonis (2001). The growth of
patenting and licensing by U.S. universities: an assessment of the effects of the Bayh–
Dole act of 1980. Research Policy, 30 (1), 99–119.
 OECD - Oslo Manual: Guidelines for Collecting and Interpreting Innovation Data, 3rd
Edition.

References (3/3)
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 Pavitt, K. (1980). Industrial R&D and the British economic problem. R&D Management,
10, 149.
 Perkmann M. and K. Walsh (2008). Engaging the scholar: Three types of academic
consulting and their impact on universities and industry. Research Policy, 37, 1884–
1891.
 Perkmann M. and K. Walsh (2009). The two faces of collaboration: impacts of university-
industry relations on public research. Industrial and Corporate Change, 1-33.
 Procter and Gamble, Connect + Develop
http://www.pgconnectdevelop.com/home/pg_open_innovation.html

Additional slides
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benefits for the industry
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Source: Arthur D.
Little, Prism
02/2012

Types of academic consulting
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Source: Perkmann
& Walsh (2008)

201501 gests423 s3

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